Categories: Investor Definitions

Equity Derivative – SEC Filing Term

Includes both listed equity derivative and derivative exposure to unlisted securities. Listed equity derivative includes all synthetic or derivative exposure to equities, including preferred equities, listed on a regulated exchange. Listed equity derivative also includes a single stock future, equity index future, dividend swap, total return swap (contract for difference), warrant and right. Derivative exposure to unlisted equities includes all synthetic or derivative exposure to equities, including preferred equities, that are not listed on a regulated exchange. Derivative exposure to unlisted securities also includes a single stock future, equity index future, dividend swap, total return swap (contract for difference), warrant and right. [Used in: Part 1A, Schedule D]

SEC

Share
Published by
SEC

Recent Posts

GVWR Class List

Federal Highway Administration GVWR Class Identification Find your vehicle's GVWR by decoding the vin. Class…

3 years ago

China CMIIT ID

China CMIIT ID is required for all wireless devices (cellular phones, modems, routers, etc.) imported…

3 years ago

Singapore Radio Type Approval (IMDA)

Singapore Radio Type Approval (IMDA) is a technical specification and compliance process for radio communications…

3 years ago

Waioder Meaning

Waioder Definition is not a meaningful term in any of the languages, and it isn't…

4 years ago

MNPI – Acronym Meaning

MNPI stands for Material Non-Public Information. Material information is accurate information that is not commonly…

4 years ago

Alien

US law defines “the alien” as “anyone who is not a US citizen,” and in…

4 years ago